Order on survey and certification of ships using ballast water and on ballast water management plans and ballast water record books

Transcription

1 Translation. Only the Danish version has legal validity. Order no. 752 of 15 June 2017 issued by the Danish Maritime Authority Order on survey and certification of ships using ballast water and on ballast water management plans and ballast water record books In pursuance of section 1(3), section 3(1)(iii), (iv) and (vi) and (2), section 22(1)-(3) and section 32(8) of the act on safety at sea (lov om sikkerhed til søs), cf. consolidated act no. 72 of 17 January 2014, the following provisions are laid down by authority pursuant to section 1(1)(iii) of order no. 744 of 24 June 2013 on the transfer of certain powers to the Danish Maritime Authority and on the right of appeal, etc.: Administrative provisions Section 1. This order lays down regulations on the management of ballast water and sediments in ships' ballast water tanks. Subsection 2. The provisions of the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004, hereinafter referred to as the "Convention", as reproduced in annex 1 of this order, shall apply according to section 2. Application Section 2. This order shall cover ships flying the Danish flag. To the extent compatible with international law, this order shall also apply to ships not flying the Danish flag which are in Danish territorial waters or in the exclusive economic zones. Subsection 2. This order shall not apply to: 1) Ships, irrespective of flag, which have not been designed to use ballast water. 2) Ships, irrespective of flag, which use ballast water permanently only in sealed tanks which is not subject to discharge. 3) Ships, irrespective of flag, exclusively operating in Danish territorial waters and in the exclusive economic zones. 4) Ships flying the Danish flag and exclusively operating in waters under the jurisdiction of a country Party to the Convention and in open seas unless the country concerned determines otherwise. 5) Ships with a length overall less than 50 metres and with a maximum ballast water capacity of 8 cubic metres which are exclusively used for recreation or competition or which are primarily used for search and rescue. However, these ships shall, to the widest extent possible, manage their ballast water and sediments in accordance with the requirements of the Convention. 6) Warships or other ships owned or operated by a State and used for Government non-commercial service. However, these ships shall, to the widest extent possible, manage their ballast water and sediments in accordance with the requirements of the Convention. Ballast water management plans and ballast record books Section 3. The shipowner and master shall ensure that officers and crew are familiar with their duties in connection with the management of ballast water on the ship on which they serve and, in connection with their duties, they shall be familiar with the ship's ballast water management plan. 1

2 Section 4. The shipowner and master shall ensure that ships covered by this order have on board the ship an approved ballast water management plan. Subsection 2. The ballast water management plan may be an electronic system and shall have been specifically drawn up for each individual ship and at least: 1) contain detailed safety procedures for the ship and the crew in connection with ballast water management, as stipulated in the Convention; 2) provide a detailed description of the actions to be taken to implement the requirements for ballast water management and supplementary practice for ballast water management, as stipulated in the Convention; 3) contain detailed procedures for the disposal of sediments: a) at sea; and b) ashore; 4) include procedures for coordinating onboard ballast water management that involves discharge at sea together with the authorities in the State in whose waters such discharge will take place; 5) appoint the officer on board who is to ensure that the plan is implemented in an appropriate manner; 6) contain information requirements for ships under the Convention; and 7) be in the working language of the ship. If another language is used than English, French or Spanish, a translation into one of these languages shall also be available. Section 5. The shipowner and master shall ensure that ships covered by this order have on board a ballast water record book. Subsection 2. The ballast water record book may be an electronic record system, which may have been integrated into another record book or another system, but shall contain the information stated in annex 2, appendix II. Subsection 3. The shipowner and master shall ensure the following: 1) Entries in the ballast water record book shall be kept on board the ship for at least two years after the most recent entry and, subsequently, be under the control of the company for at least three years. 2) In case of discharge of ballast water pursuant to regulation A-3 of the Convention (Exceptions), A-4 (Exemptions) or B-3.6 (ships discharging ballast water to reception facilities) or in case of other unintended or unusual discharge of ballast water for which an exemption is not granted anywhere else in the Convention, an entry shall be made in the ballast water record book describing the circumstances of and the reason for this discharge. 3) The ballast water record book shall be kept readily available for inspection at all reasonable times and, in the case of an unmanned ship under tow, may be kept on the towing ship. 4) Each operation concerning ballast water shall be recorded in the ballast water record book without delay. All entries shall be signed by the officer in charge of the operation, and each completed page shall be signed by the master. Entries in the ballast water record book shall be in the ship's working language. If that language is not English, French or Spanish, the entries shall have been translated into one of these languages. If the entries are also in the official national language in the country whose flag the ship is entitled to fly, these shall prevail in case of a dispute or discrepancy. Type approval of ballast water management systems Section 6. Type approvals of ballast water management systems shall be made in cooperation with a classification society approved by the Danish Maritime Authority. 2

3 Surveys and certificates Section 7. Ships of or above 400 gross tonnage covered by this order, excluding floating platforms, floating storage units (FSUs) and floating production storage and offloading units (FPSOs) shall be subject to the surveys specified below: Subsection 2. An initial survey before the ship is put in service or before the certificate required under section 10 is issued for the first time. This survey shall verify that the ballast water management plan required in section 4 and any associated structure, equipment, systems, fitting, arrangements and material or processes comply fully with the requirements of this order. Subsection 3. A renewal survey shall be carried out at intervals not exceeding five years and shall verify that the ballast water management plan required by section 4 and any associated structure, equipment, systems, fitting, arrangements and material or processes comply fully with the relevant requirements of this order. Subsection 4. An intermediate survey within three months before or after the second anniversary date or within three months before or after the third anniversary date of the certificate, which shall take the place of one of the annual surveys specified in section 7(6). Intermediate surveys shall ensure that the equipment, associated systems and processes for ballast water management fully comply with the applicable requirements of this annex and are in good working order. Such intermediate surveys shall be endorsed on certificates issued under regulation section 10. Subsection 5. An annual survey within three months before or after each anniversary date, including a general inspection of the structure, any equipment, systems, fittings, arrangements and material or processes associated with the ballast water management plan required by section 4 to ensure that they have been maintained in accordance with subsection 2 and remain satisfactory for the service for which the ship is intended. Such annual surveys shall be endorsed on certificates issued under section 10. Subsection 6. An additional survey either general or partial, according to the circumstances, shall be made after a change, replacement, or significant repair of the structure, equipment, systems, fittings, arrangements and material necessary to achieve full compliance with this order. The survey shall be such as to ensure that any such change, replacement, or significant repair has been effectively made, so that the ship complies with the requirements of this order. Such surveys shall be endorsed on certificates issued under section 10. Section 8. Whenever an accident occurs to a ship or a defect is discovered which substantially affects the ability of the ship to conduct ballast water management in accordance with the Convention, the owner, operator or other person in charge of the ship shall report at the earliest opportunity to a classification society recognised by the Danish Maritime Authority, who shall cause investigations to be initiated to determine whether a survey as required by section 7 is necessary. If the ship is outside Danish territorial waters in a port of Contracting Party, the owner, operator or other person in charge shall also report immediately to the appropriate authorities of the port State and the nominated surveyor or recognized organization shall ascertain that such report has been made. Subsection 2. The condition of the ship and its equipment, systems and processes shall be maintained to conform with the provisions of this Convention to ensure that the ship in all respects will remain fit to proceed to sea without presenting a threat of harm to the environment, human health, property or resources. Subsection 3. After any survey of the ship under subsection 1 has been completed, no change shall be made in the structure, any equipment, fittings, arrangements or material associated with the ballast water management plan required by section 4 and covered by the survey without the approval of the classification society, except the direct replacement of such equipment or fittings. Section 9. The initial survey shall be carried out in connection with the first renewal survey of the ship's international oil pollution prevention certificate. 3

4 Section 10. Where a certificate is required to be issued, a certificate shall be issued following a successful completion of a survey in accordance with section 7. Subsection 2. The certificate shall be issued in accordance with the table presented in annex 2, appendix I. Subsection 3. The certificate shall be issued for a period not exceeding five years. Subsection 4. In case of a renewal survey, the certificate shall comply with the following: 1) If the renewal survey is completed within three months before the expiry date of the existing certificate, the new certificate shall, irrespective of the requirements of subsection 1, be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate. 2) If the renewal survey is completed after the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate. 3) If the renewal survey is completed more than three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the expiry date of the existing certificate. Authorisation Section 11. The Danish Maritime Authority may task the organisations recognised by the Danish Maritime Authority with the approval of ballast water management plans and surveys. Penalty provisions Section 12. Contraventions of this order shall be liable to punishment by fine or imprisonment for a term not exceeding 1 year. Subsection 2. The penalty may be increased to imprisonment for a term not exceeding 2 years if: 1) the contravention has caused injury to life or health or a risk hereof; 2) a prohibition notice or injunction has previously been issued for the same or similar actions; 3) the contravention has resulted in or aimed at a financial benefit for the contravener or others. Subsection 3. If the benefit obtained through the contravention is not confiscated, the size of such financial benefit obtained or sought obtained shall be taken into account when determining the fine, including additional fines. Subsection 4. Companies, etc. (legal persons) may incur criminal liability according to the regulations in chapter 5 of the penal code (straffeloven). Entry into force provisions Section 13. This order shall enter into force on 8 September Subsection 2. Ships covered by this order with a gross tonnage below 400 shall meet the requirements of sections 4, 5 and 6 no later than on 8 September Danish Maritime Authority, 15 June 2017 Per Sønderstrup / Martin John 4

5 Annex 1 INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004 The Parties to this Convention, Recalling Article 196(1) of the 1982 United Nations Convention on the Law of the Sea (UNCLOS), which provides that States shall take all measures necessary to prevent, reduce and control pollution of the marine environment resulting from the use of technologies under their jurisdiction or control, or the intentional or accidental introduction of species, alien or new, to a particular part of the marine environment, which may cause significant and harmful changes thereto, Noting the objectives of the 1992 Convention on Biological Diversity (CBD) and that the transfer and introduction of Harmful Aquatic Organisms and Pathogens via ships ballast water threatens the conservation and sustainable use of biological diversity as well as decision IV/5 of the 1998 Conference of the Parties (COP 4) to the CBD concerning the conservation and sustainable use of marine and coastal ecosystems, as well as decision VI/23 of the 2002 Conference of the Parties (COP 6) to the CBD on alien species that threaten ecosystems, habitats or species, including guiding principles on invasive species, Noting further that the 1992 United Nations Conference on Environment and Development (UNCED) requested the International Maritime Organization (the Organization) to consider the adoption of appropriate rules on ballast water discharge, Mindful of the precautionary approach set out in Principle 15 of the Rio Declaration on Environment and Development and referred to in resolution MEPC.67(37), adopted by the Organization s Marine Environment Protection Committee on 15 September 1995, Also mindful that the 2002 World Summit on Sustainable Development, in paragraph 34(b) of its Plan of Implementation, calls for action at all levels to accelerate the development of measures to address invasive alien species in ballast water, Conscious that the uncontrolled discharge of Ballast Water and Sediments from ships has led to the transfer of Harmful Aquatic Organisms and Pathogens, causing injury or damage to the environment, human health, property and resources, Recognizing the importance placed on this issue by the Organization through Assembly resolutions A.774(18) in 1993 and A.868(20) in 1997, adopted for the purpose of addressing the transfer of Harmful Aquatic Organisms and Pathogens, Recognizing further that several States have taken individual action with a view to prevent, minimize and ultimately eliminate the risks of introduction of Harmful Aquatic Organisms and Pathogens through ships entering their ports, and also that this issue, being of worldwide concern, demands action based on globally applicable regulations together with guidelines for their effective implementation and uniform interpretation, 5

6 Desiring to continue the development of safer and more effective Ballast Water Management options that will result in continued prevention, minimization and ultimate elimination of the transfer of Harmful Aquatic Organisms and Pathogens, Resolved to prevent, minimize and ultimately eliminate the risks to the environment, human health, property and resources arising from the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships Ballast Water and Sediments, as well as to avoid unwanted side-effects from that control and to encourage developments in related knowledge and technology, Considering that these objectives may best be achieved by the conclusion of an International Convention for the Control and Management of Ships Ballast Water and Sediments, Have agreed as follows: Article 1 Definitions For the purpose of this Convention, unless expressly provided otherwise: 1 "Administration" means the Government of the State under whose authority the ship is operating. With respect to a ship entitled to fly a flag of any State, the Administration is the Government of that State. With respect to floating platforms engaged in exploration and exploitation of the seabed and subsoil thereof adjacent to the coast over which the coastal State exercises sovereign rights for the purposes of exploration and exploitation of its natural resources, including Floating Storage Units (FSUs) and Floating Production Storage and Offloading Units (FPSOs), the Administration is the Government of the coastal State concerned. 2 Ballast water means water with its suspended matter taken on board a ship to control trim, list, draught, stability or stresses of the ship. 3 Ballast Water Management means mechanical, physical, chemical, and biological processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or discharge of Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments. 4 Certificate means the International Ballast Water Management Certificate. 5 Committee means the Marine Environment Protection Committee of the Organization. 6 Convention means the International Convention for the Control and Management of Ships Ballast Water and Sediments. 7 Gross tonnage means the gross tonnage calculated in accordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Measurement of Ships, 1969 or any successor Convention. 8 Harmful Aquatic Organisms and Pathogens means aquatic organisms or pathogens which, if introduced into the sea including estuaries, or into fresh water courses, may create hazards to the environment, human health, property or resources, impair biological diversity or interfere with other legitimate uses of such areas. 9 Organization means the International Maritime Organization. 10 Secretary-General means the Secretary-General of the Organization. 11 Sediments means matter settled out of Ballast Water within a ship. 6

7 12 Ship means a vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating platforms, FSUs and FPSOs. Article 2 General obligations 1 Parties undertake to give full and complete effect to the provisions of the Convention and the Annex thereto in order to prevent, minimize and ultimately eliminate the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships Ballast Water and Sediments. 2 The Annex forms an integral part of this Convention. Unless expressly provided otherwise, a reference to this Convention constitutes at the same time a reference to the Annex. 3 Nothing in this Convention shall be interpreted as preventing a Party from taking, individually or jointly with other Parties, more stringent measures with respect to the prevention, reduction or elimination of the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships Ballast Water and Sediments, consistent with international law. 4 Parties shall endeavour to co-operate for the purpose of effective implementation, compliance and enforcement of this Convention. 5 Parties undertake to encourage the continued development of Ballast Water Management and standards to prevent, minimize and ultimately eliminate the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships Ballast Water and Sediments. 6 Parties taking action pursuant to this Convention shall endeavour not to impair or damage their environment, human health, property or resources, or those of other States. 7 Parties should ensure that Ballast Water Management practices used to comply with this Convention do not cause greater harm than they prevent to their environment, human health, property or resources, or those of other States. 8 Parties shall encourage ships entitled to fly their flag, and to which this Convention applies, to avoid, as far as practicable, the uptake of Ballast Water with potentially Harmful Aquatic Organisms and Pathogens, as well as Sediments that may contain such organisms, including promoting the adequate implementation of recommendations developed by the Organization. 9 Parties shall endeavour to co-operate under the auspices of the Organization to address threats and risks to sensitive, vulnerable or threatened marine ecosystems and biodiversity in areas beyond the limits of national jurisdiction in relation to Ballast Water Management. Article 3 Application 1 Except as expressly provided otherwise in this Convention, this Convention shall apply to: (a) ships entitled to fly the flag of a Party; and (b) ships not entitled to fly the flag of a Party but which operate under the authority of a Party. 2 This Convention shall not apply to: (a) ships not designed or constructed to carry Ballast Water; (b) ships of a Party which only operate in waters under the jurisdiction of that Party, unless the Party determines that the discharge of Ballast Water from such ships would impair or damage their environment, human health, property or resources, or those of adjacent or other States; 7

8 (c) ships of a Party which only operate in waters under the jurisdiction of another Party, subject to the authorization of the latter Party for such exclusion. No Party shall grant such authorization if doing so would impair or damage their environment, human health, property or resources, or those of adjacent or other States. Any Party not granting such authorization shall notify the Administration of the ship concerned that this Convention applies to such ship; (d) ships which only operate in waters under the jurisdiction of one Party and on the high seas, except for ships not granted an authorization pursuant to sub-paragraph (c), unless such Party determines that the discharge of Ballast Water from such ships would impair or damage their environment, human health, property or resources, or those of adjacent of other States; (e) any warship, naval auxiliary or other ship owned or operated by a State and used, for the time being, only on government non-commercial service. However, each Party shall ensure, by the adoption of appropriate measures not impairing operations or operational capabilities of such ships owned or operated by it, that such ships act in a manner consistent, so far as is reasonable and practicable, with this Convention; and (f) permanent Ballast Water in sealed tanks on ships, that is not subject to discharge. 3 With respect to ships of non-parties to this Convention, Parties shall apply the requirements of this Convention as may be necessary to ensure that no more favourable treatment is given to such ships. Article 4 Control of the Transfer of Harmful Aquatic Organisms and Pathogens Through Ships Ballast Water and Sediments 1 Each Party shall require that ships to which this Convention applies and which are entitled to fly its flag or operating under its authority comply with the requirements set forth in this Convention, including the applicable standards and requirements in the Annex, and shall take effective measures to ensure that those ships comply with those requirements. 2 Each Party shall, with due regard to its particular conditions and capabilities, develop national policies, strategies or programmes for Ballast Water Management in its ports and waters under its jurisdiction that accord with, and promote the attainment of the objectives of this Convention. Article 5 Sediment Reception Facilities 1 Each Party undertakes to ensure that, in ports and terminals designated by that Party where cleaning or repair of ballast tanks occurs, adequate facilities are provided for the reception of Sediments, taking into account the Guidelines developed by the Organization. Such reception facilities shall operate without causing undue delay to ships and shall provide for the safe disposal of such Sediments that does not impair or damage their environment, human health, property or resources or those of other States. 2 Each Party shall notify the Organization for transmission to the other Parties concerned of all cases where the facilities provided under paragraph 1 are alleged to be inadequate. 8

9 Article 6 Scientific and Technical Research and Monitoring 1 Parties shall endeavour, individually or jointly, to: (a) promote and facilitate scientific and technical research on Ballast Water Management; and (b) monitor the effects of Ballast Water Management in waters under their jurisdiction. Such research and monitoring should include observation, measurement, sampling, evaluation and analysis of the effectiveness and adverse impacts of any technology or methodology as well as any adverse impacts caused by such organisms and pathogens that have been identified to have been transferred through ships Ballast Water. 2 Each Party shall, to further the objectives of this Convention, promote the availability of relevant information to other Parties who request it on: (a) scientific and technology programmes and technical measures undertaken with respect to Ballast Water Management; and (b) the effectiveness of Ballast Water Management deduced from any monitoring and assessment programmes. Article 7 Survey and certification 1 Each Party shall ensure that ships flying its flag or operating under its authority and subject to survey and certification are so surveyed and certified in accordance with the regulations in the Annex. 2 A Party implementing measures pursuant to Article 2.3 and Section C of the Annex shall not require additional survey and certification of a ship of another Party, nor shall the Administration of the ship be obligated to survey and certify additional measures imposed by another Party. Verification of such additional measures shall be the responsibility of the Party implementing such measures and shall not cause undue delay to the ship. Article 8 Violations 1 Any violation of the requirements of this Convention shall be prohibited and sanctions shall be established under the law of the Administration of the ship concerned, wherever the violation occurs. If the Administration is informed of such a violation, it shall investigate the matter and may request the reporting Party to furnish additional evidence of the alleged violation. If the Administration is satisfied that sufficient evidence is available to enable proceedings to be brought in respect of the alleged violation, it shall cause such proceedings to be taken as soon as possible, in accordance with its law. The Administration shall promptly inform the Party that reported the alleged violation, as well as the Organization, of any action taken. If the Administration has not taken any action within 1 year after receiving the information, it shall so inform the Party which reported the alleged violation. 9

10 2 Any violation of the requirements of this Convention within the jurisdiction of any Party shall be prohibited and sanctions shall be established under the law of that Party. Whenever such a violation occurs, that Party shall either: (a) cause proceedings to be taken in accordance with its law; or (b) furnish to the Administration of the ship such information and evidence as may be in its possession that a violation has occurred. 3 The sanctions provided for by the laws of a Party pursuant to this Article shall be adequate in severity to discourage violations of this Convention wherever they occur. Article 9 Inspection of Ships 1 A ship to which this Convention applies may, in any port or offshore terminal of another Party, be subject to inspection by officers duly authorized by that Party for the purpose of determining whether the ship is in compliance with this Convention. Except as provided in paragraph 2 of this Article, any such inspection is limited to: (a) verifying that there is onboard a valid Certificate, which, if valid shall be accepted; and (b) inspection of the Ballast Water record book, and/or (c) a sampling of the ship s Ballast Water, carried out in accordance with the guidelines to be developed by the Organization. However, the time required to analyse the samples shall not be used as a basis for unduly delaying the operation, movement or departure of the ship. 2 Where a ship does not carry a valid Certificate or there are clear grounds for believing that: (a) the condition of the ship or its equipment does not correspond substantially with the particulars of the Certificate; or (b) the master or the crew are not familiar with essential shipboard procedures relating to Ballast Water Management, or have not implemented such procedures; a detailed inspection may be carried out. 3 In the circumstances given in paragraph 2 of this Article, the Party carrying out the inspection shall take such steps as will ensure that the ship shall not discharge Ballast Water until it can do so without presenting a threat of harm to the environment, human health, property or resources. Article 10 Detection of Violations and Control of Ships 1 Parties shall co-operate in the detection of violations and the enforcement of the provisions of the Convention. 2 If a ship is detected to have violated the Convention, the Party whose flag the ship is entitled to fly, and/or the Party in whose port or offshore terminal the ship is operating, may, in addition to any sanctions described in Article 8 or any action described in Article 9, take steps to warn, detain, or exclude the ship. The Party in whose port or offshore terminal the ship is operating, however, may grant such a ship permission to leave the port or offshore terminal for the purpose of discharging Ballast Water or proceeding to the nearest appropriate repair yard or reception facility available, provided doing so does not present a threat of harm to the environment, human health, property or resources. 10

11 3 If the sampling described in Article 9.1(c) leads to a result, or supports information received from another port or offshore terminal, indicating that the ship poses a threat to the environment, human health, property or resources, the Party in whose waters the ship is operating shall prohibit such ship from discharging Ballast Water until the threat is removed. 4 A Party may also inspect a ship when it enters the ports or offshore terminals under its jurisdiction, if a request for an investigation is received from any Party, together with sufficient evidence that the ship is operating or has operated in violation of a provision in the Convention. The report of such investigation shall be sent to the Party requesting it and to the competent authority of the Administration of the ship concerned so that appropriate action may be taken. Article 11 Notification of Control Actions 1 If an inspection conducted pursuant to Article 9 or 10 indicates a violation of the Convention, the ship shall be notified. A report shall be forwarded to the Administration, including any evidence of the violation. 2 In the event that any action is taken pursuant to Article 9.3, 10.2 or 10.3, the officer carrying out such action shall forthwith inform, in writing, the Administration of the ship concerned, or if this is not possible, the consul or diplomatic representative of the ship concerned, of all the circumstances in which the action was deemed necessary. In addition, the recognized organization responsible for the issue of certificates shall be notified. 3 The port State authority concerned shall, in addition to parties mentioned in paragraph 2, notify the next port of call of all relevant information about the violation, if it is unable to take action as specified in Article 9.3, 10.2 or 10.3 or if the ship has been allowed to proceed to the next port of call. Article 12 Undue Delay to Ships 1 All possible efforts shall be made to avoid a ship being unduly detained or delayed under Article 7.2, 8, 9 or When a ship is unduly detained or delayed under Article 7.2, 8, 9 or 10, it shall be entitled to compensation for any loss or damage suffered. Article 13 Technical Assistance, Co-operation and Regional Co-operation 1 Parties undertake, directly or through the Organization and other international bodies, as appropriate, in respect of the control and management of ships' Ballast Water and Sediments, to provide support for those Parties which request technical assistance: (a) to train personnel; (b) to ensure the availability of relevant technology, equipment and facilities; (c) to initiate joint research and development programmes; and (d) to undertake other action aimed at the effective implementation of the Convention and of guidance developed by the Organization related thereto. 11

12 2 Parties undertake to co-operate actively, subject to their national laws, regulations and policies, in the transfer of technology in respect of the control and management of ships' Ballast Water and Sediments. 3 In order to further the objectives of this Convention, Parties with common interests to protect the environment, human health, property and resources in a given geographical area, in particular, those Parties bordering enclosed and semi-enclosed seas, shall endeavour, taking into account characteristic regional features, to enhance regional co-operation, including through the conclusion of regional agreements consistent with this Convention. Parties shall seek to cooperate with the Parties to regional agreements to develop harmonized procedures. Article 14 Communication of information 1 Each Party shall report to the Organization and, where appropriate, make available to other Parties the following information: (a) any requirements and procedures relating to Ballast Water Management, including its laws, regulations, and guidelines for implementation of the Convention; (b) the availability and location of any reception facilities for the environmentally safe disposal of Ballast Water and Sediments; and (c) any requirements for information from a ship which is unable to comply with the provisions of this Convention for reasons specified in regulations A-3 and B-4 of the Annex. 2 The Organization shall notify Parties of the receipt of any communications under the present Article and circulate to all Parties any information communicated to it under subparagraphs 1(b) and (c) of this Article. Article 15 Dispute Settlement Parties shall settle any dispute between them concerning the interpretation or application of the Convention by negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, resort to regional agencies or arrangements or other peaceful means of their own choice. Article 16 Relationship to International Law and Other Agreements Nothing in the Convention shall prejudice the rights and obligations of any State under customary international law as reflected in the United Nations Convention on the Law of the Sea. Article 17 Signature, Ratification, Acceptance, Approval and Accession 1 This Convention shall be open for signature by any State at the Headquarters of the Organization from 1 June 2004 to 31 May 2005 and shall thereafter remain open for accession by any State. 12

13 2 States may become Parties to the Convention by: (a) signature not subject to ratification, acceptance, or approval; or (b) signature subject to ratification, acceptance, or approval, followed by ratification, acceptance or approval; or (c) accession. 3 Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to that effect with the Secretary-General. 4 If a State comprises two or more territorial units in which different systems of law are applicable in relation to matters dealt with in this Convention, it may at the time of signature, ratification, acceptance, approval, or accession declare that this Convention shall extend to all its territorial units or only to one or more of them and may modify this declaration by submitting another declaration at any time. 5 Any such declaration shall be notified to the Depositary in writing and shall state expressly the territorial unit or units to which this Convention applies. Article 18 Entry into Force 1 This Convention shall enter into force twelve months after the date on which not less than thirty States, the combined merchant fleets of which constitute not less than thirty-five percent of the gross tonnage of the world s merchant shipping, have either signed it without reservation as to ratification, acceptance or approval, or have deposited the requisite instrument of ratification, acceptance, approval or accession in accordance with Article For States which have deposited an instrument of ratification, acceptance, approval or accession in respect of this Convention after the requirements for entry into force thereof have been met, but prior to the date of entry in force, the ratification, acceptance, approval or accession shall take effect on the date of entry into force of this Convention or three months after the date of deposit of instrument, whichever is the later date. 3 Any instrument of ratification, acceptance, approval or accession deposited after the date on which the Convention enters into force shall take effect three months after the date of deposit. 4 After the date on which an amendment to the Convention is deemed to have been accepted under Article 19, any instrument of ratification, acceptance, approval or accession deposited shall apply to the Convention as amended. Article 19 Amendments 1 This Convention may be amended by either of the procedures specified in the following paragraphs. 2 Amendments after consideration within the Organization: (a) Any Party may propose an amendment to the Convention. A proposed amendment shall be submitted to the Secretary-General, who shall then circulate it to the Parties and Members of the Organization at least six months prior to its consideration. (b) An amendment proposed and circulated as above shall be referred to the Committee for consideration. Parties, whether or not Members of the Organization, shall be entitled to participate in the proceedings of the Committee for consideration and adoption of the amendment. 13

14 (c) Amendments shall be adopted by a two-thirds majority of the Parties present and voting in the Committee, on condition that at least one-third of the Parties shall be present at the time of voting. (d) Amendments adopted in accordance with subparagraph (c) shall be communicated by the Secretary-General to the Parties for acceptance. (e) An amendment shall be deemed to have been accepted in the following circumstances: (i) An amendment to an article of this Convention shall be deemed to have been accepted on the date on which two-thirds of the Parties have notified the Secretary-General of their acceptance of it. (ii) An amendment to the Annex shall be deemed to have been accepted at the end of twelve months after the date of adoption or such other date as determined by the Committee. However, if by that date more than one-third of the Parties notify the Secretary-General that they object to the amendment, it shall be deemed not to have been accepted. (f) An amendment shall enter into force under the following conditions: (i) An amendment to an article of this Convention shall enter into force for those Parties that have declared that they have accepted it six months after the date on which it is deemed to have been accepted in accordance with subparagraph (e)(i). (ii) An amendment to the Annex shall enter into force with respect to all Parties six months after the date on which it is deemed to have been accepted, except for any Party that has: (1) notified its objection to the amendment in accordance with subparagraph (e)(ii) and that has not withdrawn such objection; or (2) notified the Secretary-General, prior to the entry into force of such amendment, that the amendment shall enter into force for it only after a subsequent notification of its acceptance. (g) (i) A Party that has notified an objection under subparagraph (f)(ii)(1) may subsequently notify the Secretary-General that it accepts the amendment. Such amendment shall enter into force for such Party six months after the date of its notification of acceptance, or the date on which the amendment enters into force, whichever is the later date. (ii) If a Party that has made a notification referred to in subparagraph (f)(ii)(2) notifies the Secretary-General of its acceptance with respect to an amendment, such amendment shall enter into force for such Party six months after the date of its notification of acceptance, or the date on which the amendment enters into force, whichever is the later date. 3 Amendment by a Conference: (a) Upon the request of a Party concurred in by at least one-third of the Parties, the Organization shall convene a Conference of Parties to consider amendments to this Convention. (b) An amendment adopted by such a Conference by a two-thirds majority of the Parties present and voting shall be communicated by the Secretary-General to all Parties for acceptance. (c) Unless the Conference decides otherwise, the amendment shall be deemed to have been accepted and shall enter into force in accordance with the procedures specified in paragraphs 2(e) and (f) respectively. 4 Any Party that has declined to accept an amendment to the Annex shall be treated as a non-party only for the purpose of application of that amendment. 5 Any notification under this Article shall be made in writing to the Secretary-General. 6 The Secretary-General shall inform the Parties and Members of the Organization of: (a) any amendment that enters into force and the date of its entry into force generally and for each Party; and 14

15 (b) any notification made under this Article. Article 20 Denunciation 1 This Convention may be denounced by any Party at any time after the expiry of two years from the date on which this Convention enters into force for that Party. 2 Denunciation shall be effected by written notification to the Depositary, to take effect one year after receipt or such longer period as may be specified in that notification. Article 21 Depositary 1 This Convention shall be deposited with the Secretary-General, who shall transmit certified copies of the Convention to all States which have signed this Convention or acceded thereto. 2 In addition to the functions specified elsewhere in the Convention, the Secretary-General shall: (a) inform all States that have signed the Convention, or acceded thereto, of: (i) each new signature or deposit of an instrument of ratification, acceptance, approval or accession, together with the date thereof; (ii) the date of entry into force of this Convention; and (iii) the deposit of any instrument of denunciation from the Convention, together with the date on which it was received and the date on which the denunciation takes effect; and (b) as soon as the Convention enters into force, transmit the text thereof to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations. Article 22 Languages This Convention is established in a single original in the Arabic, Chinese, English, French, Russian and Spanish languages, each text being equally authentic. DONE AT LONDON this thirteenth day of February, two thousand and four. IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments for that purpose, have signed this Convention. 15

16 Annex 2 REGULATIONS FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS SECTION A GENERAL PROVISIONS Regulation A-1 Definitions For the purposes of this Annex: 1 Anniversary date means the day and the month of each year corresponding to the date of expiry of the Certificate. 2 Ballast Water Capacity means the total volumetric capacity of any tanks, spaces or compartments on a ship used for carrying, loading or discharging Ballast Water, including any multi-use tank, space or compartment designed to allow carriage of Ballast Water. 3 Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the International Safety Management Code. 1 4 Constructed in respect of a ship means a stage of construction where:.1 the keel is laid; or.2 construction identifiable with the specific ship begins;.3 assembly of the ship has commenced comprising at least 50 tonnes or 1 percent of the estimated mass of all structural material, whichever is less; or.4 the ship undergoes a major conversion. 5 Major conversion means a conversion of a ship:.1 which changes its ballast water carrying capacity by 15 percent or greater, or.2 which changes the ship type, or.3 which, in the opinion of the Administration, is projected to prolong its life by ten years or more, or.4 which results in modifications to its ballast water system other than component replacementin-kind. Conversion of a ship to meet the provisions of regulation D-1 shall not be deemed to constitute a major conversion for the purpose of this Annex. 6 From the nearest land means from the baseline from which the territorial sea of the territory in question is established in accordance with international law except that, for the purposes of the Convention, from the nearest land off the north-eastern coast of Australia shall mean from a line drawn from a point on the coast of Australia in latitude S, longitude E to a point in latitude S, longitude E thence to a point latitude S, longitude E thence to a point latitude 9 10 S, longitude E thence to a point latitude 9 00 S, longitude E thence to a point latitude S, longitude E thence to a point latitude S, longitude E thence to a point latitude S, longitude E thence to a point latitude S, longitude E thence to a point latitude S, longitude E thence to a point latitude S, longitude E thence to a point on the coast of Australia 1 Refer to the ISM Code adopted by the Organization by resolution A.741(18), as amended. 16

17 in latitude S, longitude E. 7 Active Substance means a substance or organism, including a virus or a fungus, that has a general or specific action on or against Harmful Aquatic Organisms and Pathogens. (M) Regulation A-2 General Applicability Except where expressly provided otherwise, the discharge of Ballast Water shall only be conducted through Ballast Water Management in accordance with the provisions of this Annex. (M) Regulation A-3 Exceptions The requirements of regulation B-3, or any measures adopted by a Party pursuant to Article 2.3 and Section C, shall not apply to: 1 the uptake or discharge of Ballast Water and Sediments necessary for the purpose of ensuring the safety of a ship in emergency situations or saving life at sea; or 2 the accidental discharge or ingress of Ballast Water and Sediments resulting from damage to a ship or its equipment:.1 provided that all reasonable precautions have been taken before and after the occurrence of the damage or discovery of the damage or discharge for the purpose of preventing or minimizing the discharge; and.2 unless the owner, Company or officer in charge wilfully or recklessly caused damage; or.3 the uptake and discharge of Ballast Water and Sediments when being used for the purpose of avoiding or minimizing pollution incidents from the ship; or.4 the uptake and subsequent discharge on the high seas of the same Ballast Water and Sediments; or.5 the discharge of Ballast Water and Sediments from a ship at the same location where the whole of that Ballast Water and those Sediments originated and provided that no mixing with unmanaged Ballast Water and Sediments from other areas has occurred. If mixing has occurred, the Ballast Water taken from other areas is subject to Ballast Water Management in accordance with this Annex. (M) Regulation A-4 Exemptions 1 A Party or Parties, in waters under their jurisdiction, may grant exemptions to any requirements to apply regulations B-3 or C-1, in addition to those exemptions contained elsewhere in the Convention, but only when they are:.1 granted to a ship or ships on a voyage or voyages between specified ports or locations; or to a ship which operates exclusively between specified ports or locations;.2 effective for a period of no more than five years subject to intermediate review;.3 granted to ships that do not mix Ballast Water or Sediments other than between the ports or locations specified in paragraph 1.1; and.4 granted based on the Guidelines on risk assessment developed by the Organization. 2 Exemptions granted pursuant to paragraph 1 shall not be effective until after communication to the Organization and circulation of relevant information to the Parties. 17